Jay A. Rubman

CETERA INVESTMENT ADVISERS LLC

ENFIELD, CT 06082

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CRD#: 3241366

Professional summary

Jay Adam Rubman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Enfield, Connecticut and CETERA WEALTH SERVICES, LLC located in Enfield, Connecticut.

Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Jay has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Innosure Insurance, LLC~639 Enfield Street~Enfield~CT~06082~Insurance Agent~Insurance Sales Agent~7/1/2016~75hrs~25hrs~Sales and management of Property and Casualty Insurance|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Adam Rubman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 639 Enfield Street, Enfield, CT 06082

RIA

CRD#: 105644

ENFIELD, CT

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 268 Hazard Ave, Enfield, CT 06082

CRD#: 13572

Enfield, CT

Past

February 24, 2016 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Enfield, CT

Past

February 24, 2016 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Enfield, CT

Past

August 19, 2015 - September 15, 2015

NATIONWIDE SECURITIES, LLC

CRD#: 11173

Windsor, CT

Past

August 4, 2015 - August 5, 2015

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

ENFIELD, CT

Past

July 17, 2014 - August 5, 2015

SANTANDER SECURITIES LLC

CRD#: 41791

ENFIELD, CT

Past

April 18, 2008 - July 15, 2014

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

ENFIELD, CT

Past

August 8, 2006 - January 31, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

WALTHAM, MA

Past

November 21, 2005 - August 31, 2006

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

ENFIELD, CT

Past

April 5, 2005 - October 18, 2005

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

November 7, 2003 - April 1, 2005

BROWNCO, LLC

CRD#: 1326

BOSTON, MA

Past

February 27, 2002 - December 16, 2003

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(9/5/2025)

IAR

Connecticut
(9/5/2025)

Massachusetts
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/20/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/5/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/26/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Jay A. Rubman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Adam Rubman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

NATIONWIDE SECURITIES, LLC

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

AVANTAX INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

AVANTAX INVESTMENT SERVICES, INC.

EQUITABLE ADVISORS, LLC

BROWNCO, LLC

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/20/2015

Series 63

Date: 4/5/2002

SIE

Date: 10/1/2018

Series 7

Date: 9/17/2002

Series 6

Date: 2/26/2002

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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